Q.9 : Compliance Query – 1. Sample format end to end communication Sequence

2. Website Compulsory for Individuals RIA

3. Risk Assessment format

4. Suitability Format

Response:

The query seems to seek end-to-end compliance support, as applicable for RIA. Request you to refer the following, which will be helpful and also if required, you may seek professional compliance support.

ARIA has already posted detailed IA COMPLIANCES REFERENCER ver. 1.0 dt. 25-Apr-2021 (pdf document) authored by Sanjay Kadel & Co. Chartered Accountants. It is accessible to ARIA members upon login to the site.

Click here: Referencer pdf Quick Link to access.

Also, in connection to this, held a webinar too on 6-May-2021.

Click here: Webinar presentation Quick Link to access.

Broadly it contains, as you will find useful:

— Category-wise Monthly compliances calendar

— Requirements for Annual Compliance Audit

— Compliances relevant Glossary / Guidance References

In response to your requirement of Risk Profiling and Suitability requirements – please be guided by Regulation 16 and 17 of the IA Regulations. This is contained in the above-said referencer.

___________________

You are requested to refer to the above-mentioned detailed – referencer document.

However, in case of any specific query – please do let us know.

— Replied by: ARIA forum expert, CA. Sanjay Kadel (sk@sanjaykadel.com)

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